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Application Forms

Thank you for your interest in the SBIC Program.  You will find listed below instructions on how to submit your SBIC Program application materials as well as a link to download the forms.  Before preparing an application for an SBIC License, we encourage you to participate in the Pre-Screening process to informally review your qualifications for the SBIC Program with an SBA Investment Officer.

Download the MAQ and License Application Forms (ZIP File)

(Last Revisions: 9/17/2014) 

 

APPLICATION UPDATE

In early 2014, SBA released new versions of the SBIC Program application materials (SBA Forms 2181, 2182 and 2183 available for download above).  For information on the updates that were made to the SBIC Program application materials, please refer to the attachment made available for download below.  This slide deck is an expanded version of a presentation made on 2/4/2014.

Webinar: New SBIC Program Application Materials (Presented 2/4/2014)

 

How to Apply:

Applying for an SBIC license is a two-part process that begins with the submission of the Management Assessment Questionnaire (SBA Form 2181 and the first part of Form 2182).  Applicants may then be invited to move forward with the licensing process and submit a License Application (Updated MAQ, second part of Form 2182, and Form 2183).

The Management Assessment Questionnaire ("MAQ"):

Follow the steps below to properly submit your MAQ.  Please note that other than the certification pages listed below, your MAQ should be submitted electronically.  Hard copies will not be accepted:

  1. Compress your MAQ files into a single or multiple “ZIP” files and e-mail them to applySBIC@sba.gov using the subject line “MAQ: Name of Applicant”.  Please be aware that any single e-mail exceeding 10 MB will be rejected by SBA’s e-mail network due to size restrictions.  If necessary, submit your files in a series of e-mails, identifying each part in the subject line as follows: “MAQ: Name of Applicant (Part # of #)”
  2. Each principal should sign and date the certification pages of Exhibits B of Form 2182 ONLY.
  3. Deliver hard copies of these certification pages ONLY to:

Scott Schaefer, Sr. Investment Officer

Office of Program Development

Investment Division

U.S. Small Business Administration

409 3rd St., SW

Washington, DC 20416

You will be notified of the receipt of your application via e-mail within 5-7 working days.

The License Application:  

Only applicants that have received a formal invitation ("green light" letter) to proceed to the licensing phase of the process may submit a License Application.  Follow the steps below to properly submit your License Application.  Please note that unlike the submission of your MAQ, your License Application must be submitted both electronically and in hard copy as described below:

  1. Update your MAQ submission as necessary, prefacing any changes you make with the marker [CHANGE].  This will help your analyst quickly identify areas in need of review.
  2. Compress your License Application files into a single or multiple “ZIP” files and e-mail them to applySBIC@sba.gov using the subject line “License Application: Name of Applicant”.  Please be aware that any e-mail exceeding 10 MB will be rejected by SBA’s e-mail network.  If necessary, submit your files using a series of e-mails in order to bypass the size restriction.
  3. Prepare three (3) hard copies of all application materials except Exhibit F, which should be submitted in electronic format only.
  4. Prepare a package for mailing that includes the following:
    1. Three (3) signed and dated copies of your License Application and accompanying attachments
    2. A check for the applicable application fee payable to the U.S. Small Business Administration (see 13 CFR 107.300 for latest fee schedule):

All Applicants (Base Fee): $10,000

Partnership Licensees: $15,000

Early Stage SBIC Applicants: $25,000

  1. Deliver the package to:

Arthur Spivey, Chief of Licensing

Investment Division

U.S. Small Business Administration

409 3rd St., SW

Washington, DC 20416